Unformatted text preview: think owns the client? Discuss your answer from the view of the licence holder, the authorised representative and the client. Q.4 Provide an example of when a client’s needs may be mismatched by an adviser recommending an investment product which is inappropriate for the client. Explain what is the adviser’s obligation. Q.5 When reviewing a client’s portfolio, what issues need to be considered? Q.6 Explain the purpose of an executive summary to a SoA....
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- Three '11
- representative, Financial adviser, Financial planner, licence holder